GRADUATE CENTER FOR TOXICOLOGY
University of Kentucky
College of Medicine
RULES OF PROCEDURE
I. BASIC PROCEDURES
A. GCT Functions:
The missions of the Graduate Center for Toxicology (GCT) are teaching, research and service. A
copy of the GCT mission statement shall be maintained at the GCT front office and periodically
assessed by the GCT faculty.
B. Faculty Definitions and Responsibilities:
1. The faculty in the GCT is comprised of:
a. Core faculty; with regular (primary) appointments in the GCT
b. Full Faculty; full members of the Graduate Faculty, who have joint appointments in the GCT
c. Associate Faculty; associate members of the Graduate Faculty, who have joint appointments
in the GCT
d. Affiliate Faculty; who are not members of the Graduate Faculty, who have joint, adjunct or
volunteer appointments in the GCT
e. Emeritus faculty
f. Graduate Faculty; who are associate or full members of the GCT Graduate faculty, who do
not have an academic joint, adjunct or volunteer academic appointment with the GCT
2. Tenured and tenure-track Core faculty possess voting rights by virtue of their primary
appointment in the GCT. Nontenure track Core faculty are extended a voting member privilege
by their appointment or reappointment. Full and Associate faculty are extended a voting member
privilege by their appointment or reappointment. Voting privileges of the Affiliate Faculty,
Graduate Faculty, and Emeritus faculty will be determined individually. Decisions to extend
voting status are by majority vote of the tenured and tenure track Core faculty conferring the
voting privilege (GR VII.A.6.(a)).
3. Core faculty, and full faculty who are full members of the graduate faculty, may direct the
research of (serve as advisors or mentors of) masters and doctoral students. Core faculty and Full
Faculty who are Associate members of the graduate faculty may direct the research of master’s
students and may serve as co-advisors of doctoral students.
4. Associate faculty may serve as co-advisors of masters and doctoral students.
5. Only GCT faculty may serve as advisors or co-advisors for GCT graduate students.
6. The faculty of the GCT agree to uphold the high ethical standards outlined in the Code of Ethics
of the Society of Toxicology.
C. Involvement of Faculty in Educational Policies.
The faculty is the governing body of the GCT and has jurisdiction over matters concerning its
internal educational policies insofar as these do not conflict with other University regulations and
rules
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Graduate Center for Toxicology 191
.
1. Educational Policies and Procedures on Graduate Student Recruitment. Various efforts will
include distribution of announcements to colleges and universities, listings such as Peterson's
Guide and the Resource Guide to Careers in Toxicology, participation of the GCT faculty in
Minority Summer Research Experience, individual recruitment activities such as seminars and
professional meeting presentations, and by securing of training grants and other funding to attract
capable graduate students. The Admissions Committee will identify the best-qualified students
during the period January through March of each year and make offers of admission and financial
support. The Director will be responsible for the prompt handling and disposition of applications.
2. Educational Policies and Procedures on Graduate Student Placement
a. Philosophy: Each student entering the GCT should have the opportunity to assess how well
his/her career interests match those of the existing GCT faculty. The selection of the student's
major research advisor is probably the most important decision the graduate student will make
during his/her graduate program. This decision should be an informed one without undue
financial considerations. Therefore the following guidelines are meant to clarify the student
placement process within the GCT with due consideration of funding issues.
b. Procedures:
(1) Each student entering the GCT should be uncommitted to an advisor. This requirement
may be waived under special circumstances with the approval of the Core faculty upon
the recommendation of the Admissions and Finance Committee.
(2) The Director of Graduate Studies will initially advise the student until an advisor is
identified. The responsibilities of the Director of Graduate Studies will include the
following:
i. Advise the student about coursework.
ii. Advise the student to meet with 4 or 5 of the GCT faculty (Full, Core or Associate
members) compatible with the general interests of the student. Note: The Director of
Graduate Studies of shall periodically review and evaluate the student's progress.
iii. At the end of the student's first 2 months in the program, he/she will be required to
identify three faculty research programs in which a minimum rotation of 6 weeks
each will be carried out.
iv. By the end of the first year, the student should have selected a major research
advisor. Failure to do so will jeopardize the student's funding.
v. All other duties assigned by the policies and rules of the University Graduate Faculty
or by the Dean of the Graduate School.
vi. Ensuring compliance of practices of the GCT graduate program with AR 5:2.
c. Funding:
(1)Unless otherwise stipulated in writing by the Director of the GCT, the GCT will be
responsible for the full support of all first year students.
(2)The major research advisor will be responsible for providing the following:
i. An appropriate laboratory environment for the student.
ii. Full support for the student for the second year and thereafter.
iii. Full support for the student's project.
(3) Students may be admitted into the GCT M.S. program without any financial support.
However the student must be fully informed of his/her financial responsibilities,
including possible payment of out-of-state tuition. No student will be admitted to the
Ph.D. program without financial support from the GCT, from his or her home
government, or from other scholarships that they bring with them.
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D. Faculty Involvement in Developing Procedures.
The GCT faculty is specifically charged with:
1. Establishment of Rules of Procedures.
2. Establishment of a committee structure to deal with matters over which it has
jurisdiction.
3. Development of educational policy such as academic requirements, courses of study,
class schedules, graduate and research programs, and service functions (including those
public service functions described in AR 3:8).
4. Establishment with the Director of written procedures to be used by the GCT to make
recommendations on:
a. Appointment of new members
b. Promotions
c. Reappointments
d. Terminal appointments
e. Decisions not to reappoint
f. Post-retirement appointments
g. Granting of tenure.
5. Establishment with the Director of written procedures and criteria to be used for annual
Core faculty performance evaluation.
6. Establishment with the Director of written procedures to be used in preparing budget
requests that the Director will submit.
II. Faculty Meetings:
A. Scheduled Meetings: Regular meetings of the faculty, with a minimum of two meetings per academic
year (one per semester), shall be held. The Director of the GCT shall schedule and chair the meetings.
B. Special Meetings: the Director when necessary shall call special meetings of the faculty.
C. Agenda: An agenda for each faculty meeting shall be prepared and distributed by the Director to the
faculty at least 10 working days prior to the meeting. Members of the faculty may place items on the
agenda for a faculty meeting. Such written agenda items should be submitted to the Director.
Announcements and agendas of special faculty and committee meetings will be posted in advance on
the bulletin board outside 306 HSRB.
D. Participants: Participants in the GCT faculty meetings, or committee meetings, shall include all
faculty members, or members of the committee. At the discretion of the Director, non-voting faculty
may be invited to leave the meeting during discussion of sensitive matters. However, formally closed
meetings can be held only to deliberate the specific matters of appointment, discipline or dismissal of
specific persons, following a majority vote in public to go into closed session, and without restriction
of the right of the affected individual to cause hearings to take place in public session. In addition,
any final action must take place in public session.
E. Quorum: The quorum required to conduct business shall be one fourth of the voting faculty of the
GCT, at a meeting of the entire GCT faculty, or a majority of the voting faculty of the Core faculty, at
a meeting of the Core faculty, or a majority of the voting faculty of a committee, at a meeting of a
GCT committee.
F. Parliamentary Procedure: Parliamentary procedure shall be in accordance with generally accepted
procedures. Points of difference shall be decided in accordance with Robert's Rules of Order (Newly
revised), a copy of which is on file in the GCT office, with decisions on interpretation to be made by
a parliamentarian appointed by the chairperson.
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G. Minutes: The committee chairperson or a faculty secretary to be elected by majority vote of the voting
faculty shall have the responsibility for taking minutes of the faculty meetings (in the absence of such
election the GCT Director shall draft the minutes). Minutes which include a record and description of
the motions made, and of the actions and recommendations adopted shall be typed and distributed to
the faculty by the office of the Director, or the committee chairperson as appropriate, within a week
after a faculty meeting. At the request of a faculty member, amendments to the draft minutes may be
proposed for adoption by the faculty (committee) member at the next faculty (committee) meeting
H. Meetings of the faculty and faculty committees will be in compliance with the Open Meetings Law, a
copy of which is on open file at the GCT office.
III. Committees:
The Director in consultation with faculty makes faculty appointments to all committees. The Director
will appoint GCT faculty to standing and ad hoc committees for specified periods of service. The
Director in consultation with the Toxicology Student Forum will make student appointments to
committees. Committee members will have staggered appointments so that experienced individuals will
always be available for committee service. A description of the functions and operating procedures of all
departmental committees shall be on file in the GCT office. The Director shall serve ex officio on all
GCT committees.
A. Standing Committees of the Faculty are:
1. Core Faculty Committee
2. Executive Committee
3. Admissions and Finance Committee
4. Curriculum Committee
5. Qualifying Exam Committee
6. Student Award Committee
B. Ad hoc administrative committees to advise the Director shall be appointed by the Director as needed.
C. Description of Committees
CORE FACULTY COMMITTEE
The Core faculty committee is composed of faculty with primary appointments in the GCT. The
committee is charged with daily activities and decisions of the GCT educational programs, and with
bringing to the attention of the GCT faculty important matters that require formal actions by the GCT
faculty as a whole. In the exercise of this function, the Core faculty committee consults with and
advises the Director of the GCT. In accordance with the Governing Regulations, the Core faculty is
the voting body in the extension (or withdrawal) of membership and/or voting privileges to other
persons assigned to the GCT (GR VII.A.6.(a).
EXECUTIVE COMMITTEE
The Executive Committee is charged with advising the GCT Faculty and the Director in all matters
pertaining to the educational policies and faculty programs of the GCT.
It also may make recommendations to the faculty or Director on issues of promotion and tenure,
probationary status and termination of faculty. The Executive Committee shall be composed of
faculty representatives from colleges in the Medical Center and from other colleges, the Core
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Faculty, and the Director of Graduate Studies, the college representatives being selected by the
Director in consultation with the GCT faculty. The Executive Committee shall have one student
member, who shall have full voting privileges, and shall be the President of the Toxicology Student
Forum except as otherwise determined by the Toxicology Student Forum
FACULTY SEARCH COMMITTEE
Functions:
1. After receiving permission from the Administration to fill a vacant or a new position, conduct a
search for a new faculty member in accordance with University's hiring guidelines.
2. In consultation with the Director (who is ex officio on the committee), develop position
announcement and advertisements to be used in journals/chronicles or classified sections of
national newspapers.
3. Disseminate the position announcement and receive applications.
4. Identify qualified candidates and make arrangements for interviews.
5. Recommend a candidate to the Director.
6. See that correspondence and documents relating to the search and the outcome are filed in
accordance with University regulations, and applicable State and Federal Laws.
Procedures:
1. A current copy of University hiring guidelines as well as a copy of the current GCT Rules of
Operation and Procedures will be distributed to each search committee member. The search will
be conducted in accordance with all regulations and guidelines.
2. A position announcement will be developed that includes:
Title of the position
Job description and/or responsibilities of the position
Minimum qualifications
Deadline for receiving applications at least one month from mailing date
Name, address and telephone number of person to contact in the GCT
Equal opportunity statement
Address of Affirmative Action Coordinator
3. The announcement will be disseminated to appropriate departments having potential qualified
candidates including institutions listed in affirmative action guidelines. A copy will be sent to
GCT faculty.
4. The position will be advertised as required by law in fora appropriate for the position.
5. After receipt of applications, the committee will inform applicants of materials needed to
complete the file and the deadline for receiving them.
6. After a specified date, the search committee will identify all qualified candidates and rate top
several candidates and arrange interviews. Folders of top candidates will be made available to
GCT faculty in the GCT office for review.
7. Arrangements for interviews will be made with sufficient notice to GCT faculty so that they can
arrange to meet the candidates. Any GCT faculty member who desires to meet with the candidate
will be allowed to do so.
8. No candidate should be offered the position before the closing date for application.
9. After the interviews, the search committee will convene a special meeting of the committee at
which time faculty interested GCT faculty will be availed of the opportunity to voice opinions.
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At this or a later time the search committee will meet and recommend a candidate. The
recommendation of the search committee will be forwarded to the Director.
10. The Director and the administration will then negotiate with the candidate recommended by the
search committee.
11. Unsuccessful applicants will be notified promptly of decisions regarding the position.
12. All correspondence and documents relating to the search will be filed in accordance with
University regulations.
ADMISSIONS AND FINANCE COMMITTEE
The Admissions and Finance Committee will review and recommend to the Director of Graduate
Studies (who shall be presiding officer of its meetings) acceptance or rejection of applications of
applications for admission. The committee will also make recommendations to the Director on the
distribution of funds used for the purpose of providing stipends for graduate students of the GCT.
Additional responsibilities, involving educational policy-making, will include the development of
long-range programmatic plans for resource acquisition and allocation. The Admissions and Finance
Committee shall have one student member, who shall have full voting privileges, and shall be the
President of the Toxicology Student Forum, unless determined otherwise by the Toxicology Student
Forum.
CURRICULUM COMMITTEE
The educational policy-making responsibilities of the Curriculum Committee are to make
recommendations to the faculty on teaching objectives, curriculum planning, course content and
scheduling. This committee coordinates the development of syllabi for each course, makes continuing
evaluation of course offerings and makes suggestions for adding, deleting, revising or renumbering
courses. This committee will maintain surveillance over teacher evaluation methods and recommend
changes. This committee shall include a GCT student, who shall be the President of the Toxicology
Student Forum, except as otherwise determined by the Toxicology Student Forum, who shall have
full voting rights. The Director of Graduate Studies is an ex officio nonvoting member of the
Curriculum Committee. The Curriculum Committee has the responsibility for the maintenance and
revision of the Student Handbook.
QUALIFYING EXAM COMMITTEE
This committee is responsible for educational policy and instructional program of the GCT by
way of assembling the yearly written portion of the qualifying exam, administering the exam,
effectuating the grading of the exam and assessing the status of pass or fail of the exam for each
examined student. The Director of Graduate Studies will serve as Chair of this Committee.
STUDENT AWARDS COMMITTEE
This committee establishes educational policy on the criteria for evaluating the merits of individual
cases, with a copy of the established criteria made available in the GCT office. The committee also
serves the managerial function of making recommendations to the Director on student candidates for
awards given by the GCT or by other University offices.
IV.
Faculty Search
The Director in consultation with faculty shall appoint a Search committee when permission to
recruit for a position has been received from the administration. The Search committee shall consist
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of Core, Full, Associate and outside faculty, as well as a student representative. A description of the
functions and operating procedures of the Search committee are in Section III.C of this document.
V.
Faculty Personnel Actions
A. Progress Review, Reappointment, Promotion and Tenure Progress Review of Junior Core
Faculty
1. Access to Procedures and Criteria on Progress Review and Reappointment. The procedures used
in developing unit recommendations on progress review and reappointment, terminal
reappointment, or non-reappointment of Core faculty shall be those established by the University,
the College of Medicine and the GCT faculty. Prior to the solicitation of reappointment/progress
review materials from either the consulted or subject faculty, the Director will place in the GCT
office file of "Administrative Policies and Procedures Statements" a copy of the current
University procedures and criteria, and of the procedures of the College of Medicine and GCT
governing the processes. The Director will attempt to coordinate the progress reviews around the
fall meeting or spring meetings of the GCT faculty, as appropriate, when making an
announcement of the dates by which participants must submit the given materials. These dates
must be such that the Director will receive all specified materials at least one week in advance of
the GCT Core faculty meeting. The Director shall not prepare the unit records or
recommendations on tenure/promotion progress, reappointment, terminal reappointment or nonreappointment until after the meeting of the GCT Core faculty, unless the individual being
reviewed and the Director agree to other scheduling. Reviews of progress toward tenure are
mandatory in the GCT each year for untenured faculty, while reviews of progress toward
promotion are conducted at the request of the associate professor.
2. Inputs to be utilized from participants. In addition to the documentation on activities submitted by
the evaluated individual, inputs from students and colleagues will be used ( AR 2:1). In the
administration of the reappointment/review process the Director shall seek the advice of the
tenured and other GCT faculty of the GCT, individually or as a committee, as described below, so
as enable the Director to accurately speak for the unit (GR VII.B.5). On matters of reappointment,
the Director must receive the consultative input described below from tenured Core faculty, and
also from tenure-track Core faculty who are availed the opportunity to offer such input (GR
VII.B.5), and also from non-Core faculty who offer such input (GR VII.B.5). Written
judgments from specialists outside the GCT are not required, but will be received and utilized if
so arranged by the subject faculty member.
3. Assembly of the documentation to be examined. The faculty member being evaluated will submit
to the Director a reappointment/review dossier containing an updated C.V. and teaching
portfolio, and any associated materials as suggested below, which the faculty member considers
pertinent in documenting his/her activities. The Director will add to the reappointment/review
dossier the results of student evaluations of courses in which the faculty member participated,
along with a description of the substance of informal expressions of student attitude received by
the Director that are pertinent to assessment of the individual's teaching or advising. The Director
will include a description of the meaning of the student ratings in relation to student ratings of
other GCT faculty and other GCT courses. With the agreement of the subject individual, the
Director may add to the file additional documentation received by his/her office that is
illuminative of the quality or quantity of the individual's performance, such as letters received by
the Director from specialists in the field outside of the GCT. The Director shall add to the dossier
a copy of the applicable distribution of effort agreements describing expected activities of the
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individual, and which were assigned by the unit so as to provide opportunities for making due
progress toward reappointment or tenure/promotion in terms of the unit's expectations (AR II-1.05.B.3). The Director shall also add copies of the final outcomes of previous progress reviews.
Each junior faculty member has a standing offer to personally address a meeting of the GCT Core
faculty prior to the Director's preparation of the unit record or recommendation on
tenure/promotion progress, reappointment, terminal reappointment or non-reappointment.
4. Input from GCT faculty. The Director will make the reappointment/progress review dossier
available to GCT faculty at the GCT office. . The Director shall place written composite
summary of the received evaluative input in the individual's file. The summary shall serve as the
GCT faculty input utilized by the Director. The Director will take active measures to encourage
Core GCT faculty and the executive committee members, and non-Core members who may
choose to submit recommendations, to examine all materials in the reappointment/progress
review file before supplying their assessments and recommendations to the Director.
5. Preparation of the Unit Recommendation by the Director. After receipt of the solicited materials
from the GCT faculty, and prior to the meeting of the GCT Core faculty, the Director shall
examine and evaluate the factual documentation in the file, and study the recommendations of the
GCT faculty as expressed in the file summary. If from this analysis the Director detects a
problem with the reappointment or progress of the faculty member, the Director shall discuss the
situation with the faculty member and solicit any additional pertinent documentation that might
exist that was not originally included in the file. The Director shall also advise the faculty
member that s/he may personally address the next regular or specially scheduled meeting of the
GCT Core faculty. From the recommendations supplied by GCT faculty, and incorporating the
outcome of any appearance of the faculty member before the GCT faculty or its discussion of the
individual’s case, the Director shall prepare a record describing the unit's assessment of
tenure/promotion progress and the basis for it and/or prepare a recommendation describing the
nature of the reappointment and the basis for it. As required by the Governing Regulations (GR
VII.B.5), in preparing this record or recommendation the Director shall transmit the opinion of
the GCT faculty, and hence may itself contain and constitute the file record of input summary
described in (4) above. If the Director finds it necessary to depart from the opinion of the GCT
faculty, the Director shall also transmit in record/recommendation to the Dean the opinion of the
GCT faculty, and shall indicate in the record the reasons for this departure (GV VII.B.5). The
Director will submit the record of progress and/or recommendation on reappointment to the Dean,
noting the supporting materials generated during the process. The Director shall inform the
subject faculty member of the nature of the recommendation upon its transmittal to the Dean. In
these processes the Director functions as the administrative officer of the unit, and not also as an
individual consulted faculty member (AR 2:1).
6. Maintenance of Progress Review and Reappointment Records. A copy of records related to the
progress review and/or reappointment that are received by the Director, or prepared by the
Director, the consulted faculty members, or the affected faculty member, shall be maintained in
the departmental faculty file of the subject individual. The faculty member has access to the
materials under the Open Records Act and University policy (AR 2:1.III.E).
7. Promotion and Tenure of Core Faculty. The procedures, criteria, and evidences of activity under
those criteria, to be used in the promotion and/or tenure of GCT Core faculty shall be the same as
those described for reviews of progress toward tenure/promotion of GCT faculty. An additional
provision applying to actual promotion/tenure processes concerns the mandatory solicitation of
letters from specialists in the field from outside the GCT. According to university requirements,
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specialists from outside the university shall be called upon to attest to the qualifications of the
candidate individual (AR 2:1-1.III.F.3). The following procedures shall be utilized in the
solicitation and use of letters obtained from such specialists.
The Director shall solicit from the candidate names of suggested specialists from outside the
university. The candidate shall provide at least three names of potential specialists from from
outside the University, and shall include a statement of the qualifications of the individuals
suggested to serve as external peer reviewers. The candidate may also provide the names of
individuals that the candidate would prefer not be solicited as external reviewers, and may include
reasons for such preference. Independently, the Director shall solicit from the GCT Core faculty,
and from the Executive Committee, names of potential reviewers external to the GCT, and
individuals offering names to the Director shall include for each a statement of the qualifications
of the reviewers. From these lists, the Director shall choose a group of external reviewers from
outside the university. The list of reviewers external to the university selected by the Director
shall be constructed so as to strive for at least four, and more than half, of the reviewers to be
from the list constructed independently of the candidate (AR 2:1-1.III.F.3). The Director shall
solicit from the final lists of reviewers their written judgments as to the qualifications of the
individual for rank or tenure status for which the candidate is being considered, and will provide
with such solicitation a C.V. supplied by the candidate for this purpose, along with several
representative publications if provided by the candidate for this purpose.
The solicitation of the Director must contain a statement describing the university policies on
access of the candidate to these written judgments (AR 2:1-1.E.3), and shall specify for the
reviewers the date of needed provision of the letters, which shall be a date prior to the meeting of
the GCT Core faculty at which the case of the candidate will be discussed (AR 2:1-1.III.F.2). The
Director shall take active measures to encourage the consulted GCT faculty to read and consider
these external letters prior to preparation of their own written judgments (AR 2:1-1.III.F.2). The
written judgments of the external reviewers and descriptions of their qualifications, and written
judgments of the consulted GCT faculty, shall be included in the dossier forwarded to the Dean.
The Director shall retain file copies of each list of suggested names received from each faculty
member offering such names, a copy of the letter(s) of solicitation to reviewers external to the
GCT, and copies of all records s/he produces or receives, or produced by consulted faculty
members, or by the affected individual during the promotion/tenure process.
B. Non-Core Faculty Appointment to the GCT
Any Full or Associate member of the graduate faculty or other individuals may petition the GCT
faculty for admission. The request for admission must include:
1. A statement from the applicant outlining his/her present (and future) research interests and
experience in Toxicology as well as expected interactions within the GCT in the areas of
teaching, research, and service.
2. A letter from the Director of the GCT stating the anticipated benefit to the GCT and the
contribution the applicant will make to the GCT programs.
3. A letter from the applicant's chair supporting the applicant's admission to the GCT and
recognizing the applicant's desire to participate in teaching and other activities of the GCT.
4. The applicant must present a research seminar in the Toxicology Seminar Series, which
demonstrates the applicant’s research interests in the field of Toxicology.
5. All applicants will be reviewed and approved by the Core Faculty .
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C. Evaluation of the Performance Participation of Core and Non-Core Faculty:
1. Annual/biennial performance review of GCT Core faculty
a. Access to procedures and criteria. The Director shall evaluate the performance of the Core
GCT faculty according to procedures and criteria established by the University, the College,
and the GCT faculty. Prior to the solicitation of review materials from either the consulted or
evaluated faculty, the Director will place in the GCT office file of "Administrative Policies
and Procedures Statements" a copy of the current University, College and GCT procedures
and criteria governing the review process.
b. Inputs to be utilized from participants. In addition to the documentation on activities
submitted by the evaluated individual, inputs from students and colleagues will be used (AR
3:10.A.2). In the administration of the performance evaluation the Director shall seek the
advice of the faculty of the GCT, individually or as a committee, as described below, so as
enable the Director to accurately speak for the unit (GR VII.B.5). During each year, the
Director shall attend at least one class lecture given by each Core faculty member, scheduled
at the arrangement of the affected faculty member.
c. Assembly of the documentation to be examined. The faculty member being evaluated will
submit to the Director a review file containing a completed merit evaluation report , or other
document containing similar information, and any associated materials that the faculty
member considers pertinent in documenting his/her activities during the review period. The
Director will add to the review file the results of student evaluations of courses in which the
faculty member participated, along with a description of the substance of informal expressions
of student attitude received by the Director that are pertinent to assessment of the individual's
teaching or advising. The Director will include a description of the meaning of the student
ratings in relation to student ratings of other GCT faculty and other GCT courses. With the
agreement of the subject individual, the Director may add to the file additional documentation
received by the Director's office that is illuminative of the quality or quantity of the
individual's performance. Along with a copy of the applicable distribution of effort agreement
describing expected activities of the individual, the individual will include a statement
explaining any significant departure from this agreement during the review period. The
documentation in the review file will serve as the factual basis for the evaluation.
d. Input from GCT faculty. The Director will make the review file available to GCT faculty.
The Director shall solicit and summarize assessments submitted by the Core GCT faculty and
will add these assessments and their composite summary to the individual's review file. The
summaries shall serve as the GCT faculty input utilized by the Director.
e. Recommendation of the Director to the Dean. The Director shall examine and evaluate the
factual documentation in the review file, and consider the recommendations of the GCT
faculty as expressed in the file summaries and from these sources develop a tentative
recommendation. Should the Director's recommendation find a considerable problem with
lack of performance in a given area of activity, then prior to finalizing his recommendation
the Director may choose to solicit from the subject individual any additional pertinent
documentation that might exist that was not originally included in the file. The Director shall
then record on the College of Medicine performance review form a quantitative assessment
and qualitative judgment of the performance of the evaluated individual in each area of
activity (AR 3:10.A.1). The Director's recommendation shall also include discussion of the
progress on the individual toward promotion/tenure in terms of the unit's expectations (AR 310:B.4). From these evaluations in each area of activity, and with weightings according to the
distribution of effort assignment, the Director shall enter on the review form an overall
performance rating. This finalized record, which constitutes the Director's recommendation on
the merit performance evaluation of the individual, will be forwarded to the Dean in the
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review file. As required by the Governing Regulations (GR VII.B.5), in preparing this
recommendation the Director shall transmit the opinion of the GCT faculty. If the Director
finds it necessary to depart from the opinion of the GCT faculty, the Director shall also
transmit in the evaluation record to the Dean the opinion of the GCT faculty, and shall
indicate in the record the reasons for this departure.
f. Final Decision and Discussions. After the Dean has decided separately from the Director upon
a performance rating in each area of activity, and an overall rating, they will confer on the
performance of each faculty member and attempt to resolve any differences in judgment
(Provost memorandum). Following this discussion, there will be a conference between the
chairman and each faculty member focusing upon the faculty member's performance of his or
her assignment during the review period. The Director will inform the faculty member of his
or her performance ratings and describe the information used in arriving at the rating. If the
Dean and Director have been unable to resolve any differences, the faculty member will be
informed of the ratings of both the Director and the Dean and the Dean's decision is final.
g. Use and Maintenance of Performance Review Records. These performance ratings constitute
recommendations on merit salary increase and the final rating by the Dean serves as the
recommendation forwarded by the Dean for ultimate merit salary action by the Board of
Trustees. A copy of records related to the evaluation that were received by the Director, or
prepared by the Director, consulted faculty members, or the affected faculty member, shall be
maintained in departmental faculty file of the subject individual. The faculty member has
access to the materials under the Open Records Act and University policy (AR 2:1.III.E)
h. GCT faculty input on performance review of the Director. Members of the GCT, and
especially the Core members, are invited to submit to the Dean their assessment of the
performance of the Director during the review period in the Director’s capacity as a faculty
member in the areas of teaching and research. To facilitate this exercise, the Director shall
maintain a file for access of GCT faculty that contain materials describing the activities and
accomplishments of the Director with respect to the GCT, such as a C.V., annual GCT
reports, or any other materials deemed relevant by the Director.
2. Distribution of Effort Assignments of Core Faculty.
In the spring of each year the Director will formulate with each faculty member an agreement on
their distribution of effort for the next year in research, teaching, professional development,
public and university service, and any other special assignments. The distribution of effort
assignments will made so as to provide adequate opportunities to junior faculty for making due
progress toward tenure or promotion requirements, and to full professors for meeting expectations
in self-improvement (AR 3:10-C.2). Consideration will also be given to class sizes, enrollment
trends and other relevant indicators. In developing these assignments, the Director shall seek the
advice of the Core and other GCT faculty, individually and at meetings of the Core faculty (GR
VII.B.5). Prior to finalization each spring, a copy of the proposed D.O.E. form of each Core
faculty member will be available at the GCT office for any Core faculty member to examine. As
per university requirements, the activities covered by the D.O.E. constitute the total expectation
of activities of the individual (BPM E-13).
3. Evidences of Activity for use in performance review, reappointment, promotion and tenure of Core
GCT faculty
a. Mandate for unit-level establishment of evaluative evidences of activity. Under the
Governing Regulations of the University, the University-level criteria for performance,
reappointment, promotion and tenure are established by the President (GR VII.A.I.2; GR
VII.V.5). These University-level criteria have been promulgated by the President in AR 2.
Within that framework, the Governing Regulations require that the Core faculty of the GCT
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shall develop a written statement describing the evidences of activity in instruction, research and
service that are appropriate to the unit's field(s), for use in guiding evaluations (GR VII.A.6.(c)).
These written statements are subject to the final approval of the Dean of the College of
Medicine.
b. Intent. The following descriptions of evidences of activity toward University-level
criteria are provided as a mechanism of furthering clarity and communication within the
GCT, and with the administration, as to the expectations for activities of Core faculty whose
primary appointments are in the unit. In addition , provision of examples of evidences that
will be accepted for consideration under those University-level criteria further assists the
subject faculty member in preparing evaluation materials that fully illustrate merits of their
case. University regulations require that all personnel considerations be performed on the
basis of merit (AR 2:1-2). Thus, documentation of the unit-level statements on disciplineappropriate evidences enables participating faculty to protect the opportunity that the
regulations intend for the subject faculty members to have the full merits of their cases
available for assessment. In these processes, the evidences used within the GCT will be
approved by the Dean of the College of Medicine as consistent with the University-level
criteria.
c. Research Area of Activity (AR II-1.0-1.A.2)
(1). Evidences of Activity in Research. In accordance with the Governing Regulations (GR
VIIA.6.(c) and the Administrative Regulations (AR 2:2), it is expected that Core GCT
faculty will produce publications in the mode of refereed journals. Although obtaining
extramural funding is not in and of itself a criterion of activity in Research, in the
discipline of Toxicology, it is typically necessary to secure extramural funding in order to
support the expenses associated with continuous productivity in publication. GCT Core
faculty are also expected to vigorously seek this sufficient extramural funding to the
extent necessary to sustain continuous productivity, the success of which and level of
funding being commensurate with the funding levels and award rates of funding sources
in the individual’s discipline. The quality of publications will also be considered,
assessments of which will be assisted be evidences of quality described below. Additional
activities in research beyond journal articles (sustained as needed by extramural funding)
are expected, the particular combinations of activities being determined by the needs of
the unit and the academic freedom of the faculty member.
(2). Acceptable evidences of activity under the criteria area of research, or activities in support
of the research program, include but are not limited to those listed.
(a). Quantity of activity
i.
Publications (in order of importance).
-Number of refereed journal publications or refereed books.
-Number of publications as book chapters, symposium proceedings.
-Number of publications in un-refereed journals, popular press articles, intramural
publications, etc.
ii. Non-published activities.
-Patent submissions.
-Development of computer software, cell lines, organic compounds, etc. of interest
to scientific community.
-Recruitment of postdoctoral scholars, technical staff.
-Intramural interdisciplinary/inter-investigator research interactions.
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[note: as per a general directive from the Provost, move obtaining grants from here
over to evidence of Professional Activity/National Reputation]
(b). Quality of activity.
i. Publications
-Impact factor, half-life factors and immediacy factors of journals
and published works (as per Sci. Cit. Index).
-Impact factor of journals of authors who cite your work.
-Reviews of and number of citations of your work; laudatory comments
in external manuscript reviews.
ii. Non-published activities
-Solicitations for research advice/materials.
-Success in recruitment of qualified laboratory staff.
d. Professional Status and Activity (AR 2:2)
(1). Evidences of Professional Status and Activity. It is expected that Core faculty
will be members of one or more professional societies within their discipline. It is also
expected that a formal presentation will be given at a national-level or international-level
scientific meeting at least once per year by the faculty member or representative from
his/her research group. Additional activities beyond these specific criteria evidences are
expected, the particular combinations of activities being determined by the needs of the
unit and the academic freedom of the faculty member.(Professional activity is also
considered as a form of public service).
(2) . Acceptable evidences of activity of professional status and
activity include, but are not limited to, those listed below:
(a). Quantity of activities.
i. Societal memberships, offices held in, or functions provided to,
professional societies.
ii. Number of meetings attended, presentations given.
iii. Number of extramural grants, papers, book chapters reviewed.
iii.
Service on grant panels, on-site review teams, editorial councils,
ad-hoc committees.
iv.
Securing professional license.
(b). Quality of professional activity.
i.
Expressions of appreciation from journal editors, authors for quality of
reviews.
ii.
Expressions of appreciation from panel or symposium organizers,
administrators on quality of your professional service.
iii. Requests for additional information from attendees of symposium.
iv. Solicitation for your provision of professional service again on panels,
teams or as event organizers.
v.
Election to professional office.
(c). Evidences of strong scholarly reputation.
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i.
Invitations to give symposium presentations, write review articles, seminars at
others institutions, etc.
ii. Invitations to provide book, journal article or grant reviews.
iii. Scope of invited event-regional, national, international.
iv. Funding
-Success in acquiring contracts, patents, extramural and intramural grant
awards,with appropriate weighting for size/source of award, & award rate.
-Ranking level of proposal by awarding group.
-Laudatory comments contained in grant reviews.
e. Teaching.
(1). Evidences of Activity. It is expected that Core faculty will perform classroom
teaching each academic year and that each Core member serve as coordinator for at least
one GCT course each academic year. It is also expected that each faculty member
participate in the recruitment of GCT graduate students and will attend departmental
seminars and research/journal club meetings. Additional activities beyond these specific
criterial elaborations are also expected, the particular combinations of activities being
determined by the needs of the unit and the academic freedom of the faculty member.
(2). Acceptable evidences of activity under the teaching area include, but are not
limited to, those listed below.
(a). Quantity of teaching activities.
i. Academic instructions within established curriculum.
-classroom lectures given, laboratory exercises conducted, topical projects
directed-actual contact time.
-formal office hours associated with courses being taught; number of students
hours provided.
-development of lecture, exercise, topic materials; preparation of syllabus, grading
exams, reports, etc.
-organizing appearance of lectures in multi-instructor courses.
-assignments in direction and advising students on conceptualization, organization
and execution of scientific studies.
-advising/teaching postdoctoral trainees in apprenticeship role, for which UK gets
matriculation credit with the Council on Postsecondary Education.
-direction of curricular seminars
-guest lectures in the classes of other instructors
ii. Academic Instruction-new curricula
-development of course proposals; pursing administrative approval processes, etc.
-writing new, original lecture/laboratory materials for new course
-advertising new course
iii. Non-curricular student-contact and advising activities
-formal assignments in undergraduate, graduate student coursework
advising
-advising students on career strategies/opportunities
-advising students on preparation of job applications, teach job seminar
skills
-advising students on preparation of intramural seminars or journal club
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presentations
-advising students on writing grant proposals, manuscripts, etc.;
presentations at scientific meetings
-advising students on conceptualization, organization, execution of formal
research projects
-student recruitment visits to other locations, interviews with prospective students
iv. Non-curricular teaching-related activities
-organizing student research talk or journal club activities
-teaching publications, meeting presentations on teaching techniques and issues
-attendance at teaching workshops; teaching sabbaticals
-service on graduate committees of students under the direction of other faculty
-participation on student admissions committees, student appeals committees, etc.
-teaching program assessment committee activities, etc.
-writing letters of recommendation for students or graduates
(b). Quality of Teaching Activities
i. Academic instruction within established curriculum
-student evaluation ratings
-narrative evaluations by students, colleagues, Director of Graduate Studies
or others who attended lectures
-narrative evaluations by student groups, graduates, testimonials by parents or other
associates of students
-incorporation of new research advances into instructional materials
-ability to organize and present class material logically and with conviction
ii. Academic instruction-new curricula
-efforts to improve instruction through innovative and experimental approaches
-success of experimental or new course offerings
iii. Non-curricular student-contact and advising/mentor activities
-success in student recruitment or retention
-student success following adoption of advisory recommendations of the faculty
member
-student success in competitions or job application interviews, etc.
-success of student organizational activities which the faculty member advised on
iv. Non-curricular teaching-related activities
-success in student in obtaining jobs for which the faculty member wrote
in support of the student
-intramural and extramural requests for published teaching materials
-solicitation for additional, future service in teaching-related advisory capacities
-smooth, effective functioning of admissions, appeals, and other committees
f. Public and University Service
(1). Evidences of Activity. It is expected that Core faculty will actively participate on GCT
committees, and perform other actions in faculty governance that are necessary for the
smooth and effective functioning of the GCT. In connection with this evidence of activity,
the Director shall ensure that all Core Faculty serve on GCT Committees, such as the
Admissions Committee or Curriculum Committee prior to mandatory tenure or promotion
considerations (AR II-1.0-1). Additional activities beyond these specific criteria
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elaborations are expected, the particular combinations of activities being determined by
the needs of the public, university, College of Medicine and GCT, and by the academic
freedom of the faculty member.
(2). Acceptance evidences of activity under area of service include, but are not limited to,
those listed below.
(a). Quantity of service activities.
i. University/ College/ /GCT activities
-committee or other activities toward formation of policy or decisions for actions
-participation in activities of faculty governance (e.g., faculty personnel processes,
evaluation of unit staff, etc.)
-performance of administrative duties (e.g., unit administrator, head of task force,
Director of Graduate Studies, etc.)
-participation in unit reviews, recommendations on budgetary matters, intramural
awards, etc.
-solicitation of gifts to the university
ii. Public Service Activities
-serving as expert witness, rendering professional opinions in written form and in
depositions
-presentations to lay groups related to area of expertise
-participation in teacher in-service training; speaking to students in public school
system
-participation in telethons or other programs interfacing the university to the public
(b). Quality of Service Activities
i. Adoption of recommendations made in advisory capacity
ii. Letters of appreciation from clientele or other recipients of service
activity. Success in soliciting gifts to university.
4. Evaluation, Reappointment and Promotion of Non-Core faculty
Introduction: Effective monitoring and enhancement of non-Core faculty participation in GCT
activities requires a process for evaluation of non-Core faculty participation and a mechanism
whereby such faculty participation may be encouraged, supported and, if necessary, terminated.
It should be emphasized that no attempt has been made to quantify the level of teaching, research
and service activities required for membership in the GCT. Adequate levels of participation in each
of these activities will undoubtedly vary among individual faculty according to the specific nature
of their involvement, their commitments elsewhere in the University, and other considerations
germane to the interests of the GCT.
Faculty will be jointly appointed (and/or appointed to the GCT graduate faculty) for a 5-year
period, with membership and voting privileges conferred or withdrawn in accordance with the
Governing Regulations. At the end of their joint appointment period, faculty may be contacted
regarding their continued interest in a joint appointment in the GCT. Joint (and/or graduate faculty)
participation may occur at the level of mentoring of students, giving of lectures, service on student
Advisory Committees, and on GCT committees (e.g., Curriculum Committee, Student Awards
Committee), as will be specified in the initial appointment correspondence exchanged between the
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applicant and GCT Director, and as further approved by the Core Faculty (and/or graduate faculty) .
These approved agreements on expected areas of activity for the given joint (and/or graduate
faculty) member will be utilized in GCT decisions on joint reappointment or joint promotion of the
joint (and.or graduate) faculty member. Joint (and/or graduate faculty) reappointments will be
reviewed and if approved by the Core Faculty (and/or graduate faculty, respectively), , will be
made for another 5 years. Faculty may withdraw from their Joint and/or graduate appointments at
any time of their own choosing.
VI. Selection of the GCT Director
A search committee shall be appointed by the Administration when the position becomes available and
permission to fill the position has been received from the administration. The Search committee shall
consist of Core, Full and outside faculty and a student representative. All GCT faculty shall have the
opportunity to address the search committee. The search committee will make its recommendation to the
GCT faculty at a special faculty meeting, and the faculty's recommendation along with that of the search
committee will be forwarded to the administration.
VII. Academic and Administrative Responsibilities of the GCT Director
It is essential that the Director remain a productive scholar, teacher and researcher in his/her own field of
competence.
A. Academic Responsibilities: The director serves as Chairperson of the GCT faculty in the
development of GCT policies on such matters as academic requirements, courses of study, class
schedules, graduate and research programs and service functions. The Director presides over faculty
meetings and is an ex officio member of all GCT committees.
B. Administrative Responsibilities: The Director has the administrative responsibility for implementing
the GCT programs.
1. The Director is responsible for transmitting recommendations on the appointment of new members,
promotions, reappointments, terminal appointments, decisions not to reappoint, post-retirement
appointments, and the granting of tenure.
2. The Director is responsible for the periodic evaluation of the faculty by procedures and criteria
established by the University and the GCT faculty.
3. The Director shall inform the GCT faculty on matters relating to expenditures of funds.
4. In connection with each of the above major administrative functions, the Director shall seek the
advice of faculty members of the GCT, individually and collectively, or of advisory committees
(such as the Executive Committee) that the Director may appoint.
5. The Director shall speak for the opinion of the GCT faculty. In the event that the Director believes
it necessary to depart from the opinion of the GCT faculty, the Director shall communicate the
GCT faculty opinion as well as the Director's recommendation, stating the reason for differing from
the GCT faculty opinion, and will notify the GCT faculty of such action.
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The scheduling of the faculty personnel actions administrated by the Director is as follows:
Performance Review
Progress review
Reappointment
Asst. Prof.
each fall
Assoc. Prof.
minimum every
other fall
each fall or
as appropriate
at discretion of
NA
the faculty member
spring prior to
contract renewal
Professor
minimum every
other fall
spring prior to
contract renewaal
NA
NA
Tenure/Promotion
minimum fall
every 6th yr
minimum fall
every 6th yr
Distribution of Effort
each spring
each spring
each spring
6. Responsibility to inform: The Director is charged with the responsibility to inform prospective or
new faculty on University and GCT procedures and criteria for appointment, promotion and
tenure (AR 2:1).
7. Capacity as a Role Model: In his/her conduct as Director, the Director shall exhibit to the faculty,
staff and students a high level of professional ethics. As such the Director makes highly visible
the necessity for:
a. adherence to regulations both in their letter and in a spirit of fairness.
b. strict observance of the confidentiality of materials submitted under enforceable conditions of
confidentiality.
c. exhibiting accuracy, forthrightness and dignity in the exercise of professional ethics and
scholarship.
8. Term of Appointment of the Director: The term of Director's appointment is ordinarily every 6
years in the COM. A Director may be reappointed, however, when an ad hoc committee
appointed by the Administration to review and evaluate the GCT finds that the particular
circumstances and needs of the GCT make such a reappointment desirable.
VIII. AMENDMENTS
The Portion of the Rules of Procedures for the GCT that concern faculty committees and educational
policies and procedures for instructional, research and service programs may be amended by the Core
Faculty (GR VII.A.6.(a), at regular or special Core faculty meetings by a two-thirds majority vote of
eligible voters present. A copy of the proposed amendment shall be dated and circulated ten working
days prior to the meeting. No proxy votes will be accepted.
The portions of the Rules of Procedures of the GCT that concern faculty personnel and student
personnel operations and procedures are jointly established by the faculty and the Director, and require
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in addition the concurrence of the Director. A copy of the proposed amendment shall be dated and
circulated ten working days prior to the meeting. No proxy votes will be accepted.
The Director in consultation with the faculty determines the portions of the Rules of Procedures of the
GCT that are purely management in nature.
IX. UNIT LOCATION OF APPLICABLE LAWS AND REGULATIONS
The following documents are located in the GCT office 306 HSRB for examination and use by anyone.
1. Governing and Administrative Regulations
2. File of administrative policy memos affecting faculty received by the Director
e.g., President’s memo on faculty files, Provost policy memos on performance
review, tenure, etc.)
3. Senate Rules
4. Graduate School Bulletin
5. Rules of Procedure for the Graduate Center for Toxicology
6. Student Rights and Responsibilities
7. Copies of applicable state and federal laws (e.g. Open Meetings Law, Open Records
Law, Archives and Records Act, EEOC regulations on procedures and record keeping, etc.)
8. Staff Policies and Procedures Manual
9. Business Procedures Manual
X. FACULTY FILES AND PERSONNEL RECORDS
The Director of the GCT, and each GCT faculty member, shall jointly maintain a unit personnel file for
each GCT faculty member. The Director shall place in this file copies of all records and documents
issued or received by the Director concerning the academic status or activities of that faculty member,
and any other document required by applicable laws or university regulations. The faculty member shall
be responsible for placing into the file, at least once per year, an updated C.V., copies of publications or
other evidences of creative productivity, and any other documents as required by University regulations.
No record shall be removed from the file or destroyed without the knowledge of the faculty member, or
in noncompliance with the State Archives and Records Act (a copy of which is on open file in the office
of the GCT). The faculty member shall have access to any record concerning him/her, preliminary or
final, contained in this or any other file, in accordance with the Open Records Act. Any university
employee or public citizen has access under the Open Records Act to records in any faculty member's
file that document salary, academic position, job description/assignments, distribution of effort sheets,
promotion/tenure/merit review CVs or final reports of activities, vacation leaves, consulting approval
forms, etc.
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